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Corporate Compliance - Private Investments - Compliance Manager - Vice President

Req #: 170092882
Location: New York, NY, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at


The Private Investments team is responsible for performing critical principal investment activities on behalf of the firm. Private Investments, through its Strategic Investments team, works across all lines of business and Corporate Sector groups to assess and provide ongoing monitoring of new strategic investment opportunities and, through its Heritage Private Equity team, works to maximize the value of existing residual private equity and fund investment portfolios.


In this position you will provide regulatory and compliance advice to the Private Investments business within the Corporate Sector of JPMC.


Job Responsibilities include:

  • Support delivery of the firm’s Compliance Program to the Private Investment team.
  • Develop, implement and maintain policies and procedures designed to address relevant banking, fiduciary and securities regulations, corporate policies and market practices related to the firm’s principal investing activities.
  • Provide real-time guidance on applicability of regulatory or corporate policies arising from current and prospective principal investing and other transactions.
  • Conduct regular training on the firm's policies and procedures with business and finance teams.
  • Assist in preparation and review of compliance risk assessments.
  • Coordinate required filings with the SEC in connection with one Registered Investment Advisor.
  • Develop close partnerships with colleagues in Compliance (including Anti-Corruption, Antitrust, Testing, across all lines of business), Risk and Legal (including Corporate M&A, Antitrust, and Bank Regulatory) on relevant requirements and industry developments.
  • BA/BS degree or a similar required.
  • JD preferred, but not required.
  • The ideal candidate will have a minimum of five years experience at a large financial institution/bank holding company or regulatory institution (SEC, OCC or FED) in a legal or compliance role, with experience advising on regulations related to: Merchant Banking and other applicable bank regulatory requirements related to investment activities by a Financial Holding Company and/or National Bank subject to oversight and supervision by the Fed and OCC.
  • Candidate must be able to develop and build relationships at all levels within the business being supported, as well as colleagues in Compliance and other control functions.
  • Ability to work in a fast-paced environment, make decisions based on sound judgment, and utilize the network of product and regulatory specialists as needed.
  • Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory and business issues.
  • Excellent interpersonal, leadership, organizational and communication (verbal and written) skills. 
  • Excellent document and training presentation required
  • Proficient in Word, Excel and PowerPoint.
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